RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
L•••••• D•••• O••••••
- O•••••• A••••••• G•••• state registered currentsince Jan 1, 2013 · Mesa, Az
- S•••••• I••••••••• G••••• L•• formerMay 8, 2012 to Dec 31, 2012 · Kannapolis, Nc
- S••••• A••• A•••• M••••••••• I••• formerMar 22, 2012 to Apr 25, 2012 · Mesa, Az
- S•••••• I••••••••• G••••• L•• formerDec 16, 2008 to Mar 7, 2012 · Charlotte, Nc
- F•••• A••••• A••••••• S•••••••• I••• formerJan 1, 2007 to Jul 29, 2008 · Chesterfield, Mo
- F•• A••••••• S••••••• I•• unclassifiedMar 28, 2006 to Jan 1, 2007 · Mesa, Az
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 27, 2005 to Mar 20, 2006 · Mesa, Az
- S•••••• I••••••••• G••••• L•• to O•••••• A••••••• G••••left Dec 31, 2012, registered Jan 1, 2013 (1 days) · Other
- S••••• A••• A•••• M••••••••• I••• to S•••••• I••••••••• G••••• L••left Apr 25, 2012, registered May 8, 2012 (13 days) · Other
- S•••••• I••••••••• G••••• L•• to S••••• A••• A•••• M••••••••• I•••left Mar 7, 2012, registered Mar 22, 2012 (15 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to S•••••• I••••••••• G••••• L••left Jul 29, 2008, registered Dec 16, 2008 (140 days) · Other
- F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left Jan 1, 2007, registered Jan 1, 2007 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S•••••••• I••• to F•• A••••••• S••••••• I••left Mar 20, 2006, registered Mar 28, 2006 (8 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address